UEM-10Cloud & AI Related

Software Firewall

Specification

Configure managed endpoints with properly configured software firewalls.

Threat coverage

Model manipulation

Data poisoning

Sensitive data disclosure

Model theft

Model/Service Failure

Insecure supply chain

Insecure apps/plugins

Denial of Service

Loss of governance

Architectural relevance

Physical infrastructure

Network

Compute

Storage

Application

Data

Lifecycle

Preparation

Resource provisioning

Development

Not applicable

Evaluation

Not applicable

Deployment

Orchestration, AI Services supply chain, AI applications

Delivery

Operations, Maintenance, Continuous monitoring

Retirement

Not applicable

Ownership / SSRM

Shared across the supply chain

Shared control ownership refers to responsibilities and activities related to LLM security that are distributed across multiple stakeholders within the AI supply chain, including the Cloud Service Provider (CSP), Model Provider (MP), Orchestrated Service Provider (OSP), Application Provider (AP), and Customer (AIC). These controls require coordinated actions, communication, and governance across all involved parties to ensure their effectiveness.

Model

Owned by the Model Provider (MP)

The model provider (MP) designs, develops, and implements the control as part of their services or products to mitigate security, privacy, or compliance risks associated with the Large Language Model (LLM). Model Providers are entities that develop, train, and distribute foundational and fine-tuned AI models for various applications. They create the underlying AI capabilities that other actors build upon. Model Providers are responsible for model architecture, training methodologies, performance characteristics, and documentation of capabilities and limitations. They operate at the foundation layer of the AI stack and may provide direct API access to their models. Examples: OpenAI (GPT, DALL-E, Whisper), Anthropic(Claude), Google(Gemini), Meta(Llama), as well as any customized model.

Orchestrated

Shared Model Provider-Orchestrated Service Provider (Shared MP-OSP)

The MP and OSP are jointly responsible and accountable for the design, development, implementation, and enforcement of the control to mitigate security, privacy, or compliance risks associated with Large Language Model (LLM)/GenAI technologies in the context of the services or products they develop and offer.

Application

Shared Orchestrated Service Provider-Application Provider (Shared OSP-AP)

The OSP and AP are jointly responsible and accountable for the design, development, implementation, and enforcement of the control to mitigate security, privacy, or compliance risks associated with Large Language Model (LLM)/GenAI technologies in the context of the services or products they develop and offer.

Implementation guidelines

[Applicable to all actors except CSP]  
1.  Require host-based firewalls to be active on all endpoints across MP, OSP, AP, and AIC, with a baseline rule set that blocks unauthorized inbound/outbound traffic. Use UEM policies to deploy a standardized configuration and ensure it cannot be disabled by end users.

2. Establish a common set of minimum firewall rules (e.g., allow only necessary traffic for approved applications, block all other services by default) that every stakeholder applies to their devices, providing consistent network protection regardless of device owner.

3. Utilize the UEM platform to monitor firewall status and configurations on managed endpoints; establish logging requirements and set up alerts or compliance checks that flag any device with its firewall turned off or with rules that deviate from the approved baseline, so all parties can take corrective action quickly. 

4. Coordinate firewall exception handling among stakeholders. Any request to open additional ports or services on endpoints (for integration or special use cases) should be reviewed collectively and documented, ensuring that no organization unilaterally weakens endpoint firewall defenses without group awareness and agreement.

Auditing guidelines

1. Verify that the CSP has a documented Software Firewall Policy for all endpoint types, approved by governance, with defined roles and review intervals.

2. Inspect the policy to confirm it mandates installation of host‑based firewalls with default‑deny configurations and approved baseline rule‑sets.

3. Confirm the policy requires automated deployment of rule‑sets, logging of firewall events, and central collection for analysis.

4. Verify that the policy enforces patching and updating of firewall software on endpoints and defines formal change control for rule modifications.

5. Review system outputs (baseline configuration inventories, automated compliance reports, firewall log‑aggregation dashboards, patch records, and audit logs) to ensure endpoints comply with the CSP’s firewall requirements.

From CCM: 
1. Examine the organization's software firewall and other endpoint network protection policy.
2. Examine the policy on configuration of such controls.
3. Determine if such controls are in place and evaluated as effective.

Standards mappings

ISO 42001Partial Gap

No Mapping for ISO 42001
ISO 27001 A.8.1
ISO 27001 A.8.16

Addendum

No ISO 42001 controls support UEM-10 topic of firewall, especially not configured on endpoint devices

EU AI ActPartial Gap

Recital 76 (pg.22)
Article 9 (Risk management)
Article 15
Article 17 (Quality management)
Annex IV (Technical documentation)

Addendum

Introduce an amendment or technical annex within the EU AI Act that explicitly requires the implementation of industry‑standard software firewalls for endpoints and systems critical to high‑risk AI operations.

NIST AI 600-1No Gap

MG-3.2-005

Addendum

N/A

BSI AIC4No Gap

C4 SR-06
C5 AM-05

Addendum

N/A

AI-CAIQ questions (1)

UEM-10.1

Are software firewalls properly configured on managed endpoints?